This workshop includes: Live Q&A sessions on December 8-9th, 2020 Sample Internal Audit Plan (usually external audit starts with a review of your internal audit work) Sample documents and policies you must have in place, such as a description of your Governance and Internal Controls, Code of Conduct, Segregation of Read more…
So the doors to Compliance That Makes Sense Helpline are now open and we are accepting new participants. In January 2021, we will celebrate 2-year anniversary (can you imagine that!!!) and there are some clients who are still with us to date! Here is how you know if Compliance Helpline can actually help Read more…
Photo by Emma Matthews on Unsplash Let’s face it, due diligence processes are overwhelming: They never end, you feel like you are going over the same items for a thousand times, nobody is listening to what you say and if they do, they find obscure ways to turn it against Read more…
Today I’m going to offer you a brief overview of how to define market manipulation and some common examples of what constitutes market manipulation. Market manipulation is an action (e.g. entering into a transaction, placing or cancelling an order, disseminating information, voicing a public opinion, etc.) that gives or may give Read more…
If you work in compliance, you have told your business partners (multiple times) that they must “own their risks” and make the final decisions – and that the role of compliance is to remain independent and to offer expert advice. You probably think that this is just the way things Read more…
